6-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

FORM 6-K

 

REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE

SECURITIES EXCHANGE ACT OF 1934

 

For the month of November, 2023

 

 

001-41208

 

 

(Commission File Number)

 

 

NOVONIX LIMITED

(Translation of registrant’s name into English)

 

Level 38

71 Eagle Street

Brisbane, QLD 4000 Australia

(Address of principal executive office)

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20‑F or Form 40‑F.

Form 20-F Form 40-F

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):

 

 

 


 

 

EXHIBIT INDEX

 

Exhibit No. Description

 

Exhibit 99.1 Appendix 2A (Application for Quotation of Securities) dated November 21, 2023

 

 

 

 


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

NOVONIX LIMITED

By: /s/ Dr. John Christopher Burns

       Dr. John Christopher Burns

       Chief Executive Officer

 

 

 

 

Date: November 21, 2023

 

 


EX-99.1

 

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

 

 

Date of this announcement

Monday November 13, 2023

 

The +securities the subject of this notification are:

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_1.jpg +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

 

Total number of +securities to be issued/transferred

 

 

 

 

 

 

 

 

ASX +security

code

Security description

Total number of

+securities to be

issued/transferred

 

Issue date

 

 

 

 

 

 

 

NVXAD

PERFORMANCE RIGHTS

57,019

 

13/11/2023

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

 

Notification of Issue, Conversion or Payment up of Unquoted

1 / 6

 

 


 

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

Part 1 - Entity and announcement details

 

 

 

 

1.1 Name of entity

NOVONIX LIMITED

 

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

 

 

1.2 Registered number type

Registration number

 

 

 

 

ACN

157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_1.jpg New announcement

 

 

 

1.5 Date of this announcement

13/11/2023

 

 

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https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

Part 2 - Issue details

 

 

2.1 The +securities the subject of this notification are:

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_2.jpg +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

 

 

2.2 a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_3.jpg has an existing ASX security code ("existing class")

 

 

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https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B

 

 

 

 

ASX +security code and description

NVXAD : PERFORMANCE RIGHTS

 

Date the +securities the subject of this notification were issued

13/11/2023

 

Will these +securities rank equally in all respects from their issue date with the existing issued

+securities in that class

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_3.jpg Yes

 

 

 

Were any of the +securities issued to +key management personnel (KMP) or an +associate?

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_3.jpg No

 

 

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

 

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02572548-2A1400747?access_token=8 3ff96335c2d45a094df02a206a39ff4

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

 

 

 

 

 

Issue details

 

 

 

Number of +securities

57,019

 

 

 

 

 

 

 

 

 

 

 

 

 

Notification of Issue, Conversion or Payment up of Unquoted

4 / 6

 

 


 

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

Part 4 - +Securities on issue

 

 

 

Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

 

 

4.1 Quoted +Securities (Total number of each +class of +securities quoted)

 

 

 ASX +security code and description

Total number of

+securities on issue

 

 

 

 

 

 

 

 

 

 

 NVX : ORDINARY FULLY PAID

488,610,194

 

 

 

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

 

 

 ASX +security code and description

Total number of

+securities on issue

 

 

 

 

 

 

 

 

 

 

 NVXAD : PERFORMANCE RIGHTS

14,062,941

 

 

 

 

 

 

 NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,210,001

 

 

 

 

 

 

 NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

 

Notification of Issue, Conversion or Payment up of Unquoted

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https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_0.jpg 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

 

 

Part 5 - Other Listing Rule requirements

 

 

5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?

https://cdn.kscope.io/52c42fdcdfa7ade8aba6b9250aef2c6b-img58969013_4.jpg Yes

 

5.1a Select the number of the applicable exception in Listing Rule 7.2

13

 

 

Notification of Issue, Conversion or Payment up of Unquoted

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